Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Farrell is a financial professional with over 20 years of experience in the industry. He has held various roles in financial services, including positions at Deutsche Bank Securities Inc. and Wells Fargo Securities, LLC. Dennis is currently registered as a General Securities Principal with Smbc Nikko Securities America, Inc. He is dedicated to providing comprehensive financial guidance to clients and assisting them in achieving their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
09/20/2021 - Present
Smbc Nikko Securities America, Inc. (Charlotte NC)
NC
06/12/2006 - 07/19/2021
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NY
11/01/2001 - 06/13/2006
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 04/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/09/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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